BIS, OFAC, and State Dept Lists of Denied Persons, Entities, Etc. for Exports/Reexports
The Bureau of Industry and Security has posted to its Web site a set of links to lists compiled by BIS, the Office of Foreign Assets Control, and the State Department that may be relevant to export and reexport transactions.
Sign up for a free preview to unlock the rest of this article
Timely, relevant coverage of court proceedings and agency rulings involving tariffs, classification, valuation, origin and antidumping and countervailing duties. Each day, Trade Law Daily subscribers receive a daily headline email, in-depth PDF edition and access to all relevant documents via our trade law source document library and website.
The following are highlights of the links posted to BIS' Web site:
Denied Persons List - A list of individuals and entities that have been denied export privileges. Any dealings with a party on this list that would violate the terms of its denial order is prohibited.
Unverified List - A list of parties where BIS has been unable to verify the end use in prior transactions. The presence of a party on this list in a transaction is a "red flag" that should be resolved before proceeding with the transaction.
Entity List - A list of parties whose presence in a transaction can trigger a license requirement under the Export Administration Regulations (EAR). The list specifies the license requirements that apply to each listed party. These license requirements are in addition to any license requirements imposed on the transaction by other provisions of the EAR.
Specially Designated Nationals List - A list compiled by the OFAC. OFAC's regulations may prohibit a transaction if a party on this list is involved. In addition, the EAR require a license for exports or reexports to any party in any entry on this list that contains certain suffixes (i.e., "SDGT," "SDT," "FTO," or "IRAQ2").
Debarred Parties List - A list compiled by the State Department of parties who are barred by 22 CFR 127.7 (the International Traffic in Arms Regulations (ITAR)) from participating directly or indirectly in the export of defense articles, including technical data or in the furnishing of defense services for which a license or approval is required by the ITAR.
Nonproliferation Sanctions Lists - Several lists compiled by the State Department of parties that have been sanctioned under various statutes. The Federal Register notice imposing sanctions on a party states the sanctions that apply to that party. Some of these sanctioned parties are subject to BIS' license application denial policy described in 15 CFR 744.19.
General Order 3 to Part 736 of the EAR (page 9) - This general order imposes a license requirement for exports and reexports of all items subject to the EAR where the transaction involves a party named in the order. This order also prohibits the use of License Exceptions to export or reexport to these parties. These parties are currently located in: Dubai, United Arab Emirates; Germany; Syria; Lebanon; Malaysia; Iran; and Hong Kong.
BIS notes that in June 2007 it issued a final rule expanding the list of persons related to Mayrow General Trading in General Order No. 3. (See ITT's Online Archives or 06/18/07 news, 07061830, for BP summary.)
NTIS' Searchable "Prohibited Parties" Database
As part of its annual subscription to the EAR database, the National Technical Information Service provides a searchable database, "The Prohibited Parties Database," which allows users to do a keyword search of the following six government lists of prohibited parties, etc.:
- Debarred Parties List
- Denied Persons List
- Entity List
- Specially Designated Nationals, Terrorists, Narcotics Traffickers, Blocked Persons and Vessels
- Unverified List - Unverified Parties List
- General Order 3 to Part 736
BIS' links are available at http://www.bis.doc.gov/complianceandenforcement/liststocheck.htm
NTIS database available at http://chaos.fedworld.gov/bxa/prohib.html